Department for Transport
 
 

International Management Code for the Safe Operation of Ships and for Pollution Prevention

The ISM Code
Instructions for the Guidance of Surveyors

CHAPTER 0.1 - CONTENTS

CHAPTER 0.2 - AMENDMENT RECORD

CHAPTER 1 - INTRODUCTION AND BACKGROUND
1.1 Object of the Instructions
1.2 The ISM Code
1.3 Why is there an ISM Code?
1.4 UK and IMO measures towards Safe Management of Ships
1.5 Principles and Objectives of the ISM Code
1.6 The Safety Culture
1.7 The Safety Management System (SMS)
1.8 The UK Policy
1.9 The Audit for Compliance
1.10 Index of Documents

CHAPTER 2 - LEGISLATIVE REQUIREMENTS
2.1 Definitions
2.2 International Legislation
2.3 European Union Legislation
2.4 The Merchant Shipping (ISM) (Ro-Ro Passenger Ferries) Regulations 1998
2.5 The Merchant Shipping (ISM) Regulations 1998
2.6 The ISM Code: Basic Competence for Performing Verification
2.7 The Document of Compliance (DOC)
2.8 The Safety Management Certificate (SMC)

CHAPTER 3 - THE CERTIFICATION PROCESS
3.1 The Document of Compliance (DOC)
3.2 The Safety Management Certificate (SMC)
3.3 Document Review and Planning
3.4 Initial Audits
3.5 The Declaration of Audit and issue of certificates
3.6 The Document of Compliance (DOC) Audit
3.7 Companies operating a multi-flagged fleet
3.8 DOC issued by another Administration
3.9 Amending the DOC to include new ship types
3.10 The Safety Management Certificate (SMC) Audit
3.11 Interim DOC and SMC
3.12 DOC or SMC Renewal Audit
3.13 Annual Verification (DOC) and Intermediate Verification (SMC) Audits

CHAPTER 4 - CONDUCTING THE AUDIT
4.1 The Safety Management System
4.2 The Audit Plan
4.3 Responsibility of Lead Auditor
4.4 Typical Agenda for Opening and Closing Meetings
4.5 Assessing the Safety Management System
4.6 Human Element
4.7 Observation
4.8 Non-Conformity
4.9 Major Non-Conformity
4.10 Non-Conformity Note
4.11 Audit Report
4.12 Audit Report for Document of Compliance Audit
4.13 Audit Report for Safety Management Certificate Audit
4.14 Close-out of Major and Minor Non-Conformities
4.15 Corrective Action

CHAPTER 5 - THE ISM CODE
Part A Implementation

Section 1 Objectives
Section 2 Safety and Environmental Protection Policy
Section 3 Company Responsibilities and Authority
Section 4 Designated Person(s)
Section 5 Master’s Responsibility and Authority
Section 6 Resources and Personnel
Section 7 Development of Plans for Shipboard Operations
Section 8 Emergency Preparedness
Section 9 Reports and Analysis of Non-conformities, Accidents and Hazardous Occurrences
Section 10 Maintenance of the Ship and Equipment
Section 11 DocumentationSection 12 Company Verification, Review and Evaluation
Section 12 Company Verification, Review and Evaluation

Part B Certification & Verification

Section 13 Certification Periodic Verification
Section 14 Interim Certification
Section 15 Verification
Section 16 Forms of Certificates
Extension of Certificates

CHAPTER 6 - REPORTING & FILING ETC
6.1 Reporting & Quality Control Procedures
6.2 SIAS/SIRENAC

CHAPTER 7 - PORT STATE CONTROL

CHAPTER 8 – PARTICULAR ISSUES
8.1 Laid up ships
8.2 Submersibles

ANNEXES

Annex A: Letter of Acceptance

Annex B: Audit Plans (DOC & SMC)

Annex C: MCA Audit Opening & Closing Meetings Attendance Record

Annex D: MCA Audit Interviewee List

Click here to download a PDF of the whole of MSIS002 (PDF 392KB)

CHAPTER 0.2 - AMENDMENT RECORD

Complete redraft & reissue May 2009